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Practice Exams
Do a little prep work before the exam. Know your opponent's weaknesses. You don't want to go into a game of "smashing heads" empty-headed.

Unsuitable Recommendations

Unsuitable Recommendations

Fraud is the big gasp of securities violations, but there are plenty of lesser violations that have nothing to do with fraud, but that can still torch an investment rep's career. 

One big one? Giving investment recommendations to a client that make no freakin' sense. It could get a license suspended, denied, or even revoked.

Case in Point

Think about Myron's portfolio for Bubbie. 

Is there a logical defense to something comprised almost entirely of high beta, high p/e, volatile stocks? Eh...not...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

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